Cowen and Company, LLC Fined for Filing Failures

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In May 2015, Cowen and Company, LLC signed a letter of Acceptance, Waiver and Consent with the Financial Industry Regulatory Authority (FINRA) in response to FINRA findings that Cowen failed to submit Reportable Order Events (ROEs) to the Order Audit Trail System (OATSTM).

Cowen did not admit or deny the FINRA findings, but agreed to pay a $25,000 fine to settle the matter.

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